Tag: Investment advice

A white paper from DST kasina LLC details how the DOL’s fiduciary rule could affect asset managers.

The Republican-dominated House of Representative’s ongoing effort to halt the Department of Labor’s fiduciary rulemaking is starting to look a lot like its previous attempts to gut the...

The end of 2015 has seen an expanding range of retirement plan litigation cases, notes ERISA attorney David Levine. 

Cerulli Associates does not anticipate a slowdown in adviser-mediated rollover activity in the foreseeable future—whether or not a strengthened fiduciary rule is approved by the DOL. 

It’s a particular skill of Congress to make the improbable appear promising—whether it comes to overturning the Affordable Care Act or, as was the case this week, delaying...

Lawmakers and industry reps are concerned with where the proposal is heading, what’s in it and how fast it’s moving. 

“A phone consultation, an illustration of lost future value, or an example of net take-home after taxes can effectively dissuade participants from accessing retirement funds prematurely,” according to...

Hundreds of thousands of frequent flyer miles and dozens of client meetings across several continents will give a DC industry pro some interesting perspective on cross-border financial planning...

A congressional subcommittee heard testimony on the proposed bipartisan principles that go head to head with the fiduciary proposal.

The SEC this week voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems—and the activities of brokers using them. 

Congressional representatives seek to protect retirement investors and stall DOL fiduciary rule.

The Retail Investor Protection Act is likely to be vetoed by the White House.

Senator Elizabeth Warren has already made a name for herself as a harsh opponent of Wall Street, but a report issued today on collusion between the annuity and...

Speaking at a Brookings Institution public meeting, U.S. Secretary of Labor Thomas Perez said he is “confident we will be making changes to improve and clarify our proposal.”

In a letter to the DOL, members of Congress ask that changes made to the proposed fiduciary rule be submitted for review to the public before sending to...

The Republican-controlled House Financial Services Committee approved H.R. 1090, the “Retail Investor Protection Act,” for potential consideration by the floor.

Plan advisers should consider which fiduciary role they want to take.

Executives provide practical and legal tips for adding wealth management to your practice.